Audit Procedures Airworthiness Presented by COSCAP SA

Audit Procedures Airworthiness Presented by COSCAP SA
....explain when to go for the higher standard...enforcement Let’s move on to a useful tool for obtaining information...interviewing Presented by COSCAP SA

Outline We will cover : Introductions Course Objective
Course Administration and Outline Refer to slide Intro self...then partner...then course members Name...where you work...what you do...prior audit experience ...expectations of the course Course Objectives straight forward...two of them...closely related Keep these in the back of your mind as we progress during the week. Obj 1 next slide 4

Objective ONE To provide Inspectors with the basic skills and knowledge required to participate as a Team Member in any audit. Obj. 2 next slide 5

Objective TWO To be able to write an audit finding accurately, and in accordance with the applicable Civil Aviation standard and the course material. ...the process we will discuss over the next few days is an organized and proven method ...conducting audits IAW the policy and procedures set out in the MRA helps us to achieve 2 things 1. standardizes the process across all regions this is important...operators have access to the MRA 2. ensures that the audit is conducted in a professional manner Questions ? Projector off Administration: ...start/finish..breaks (1 per hr-coffee-lunch) dress ...review course manual tabs 1-5, 13 presentations ...hand-outs (Risk-2, Audit Plan-3, Letter to Op-4, AF-8, AIRs/PLL-11, AOC-14, Audit Report-15) ...course evaluation...lesson plan 8 Questions...10 min break while we set up for next...Overview of Audit Process 6

Overview of the Audit Process
Objective: at end of this session you should be able to give a general description of the audit process according to the MRA Link: ...what we are about to discuss may appear to be a complex process ...it really isn’t when it is broken down to its component parts ...most important of all is that the principle knowledge you will gain is that you will know where to get the information you need...it won’t be necessary for you to rote learn anything...just know where to get the info you need

Inspectors Handbooks Note:
The procedures outlined in this presentation are detailed in Chapter 17 of the Airworthiness Inspectors handbook: 1 Audit Procedures 2 Policy and Procedures 3 Check Lists Walk through the Table of Contents Talk about section, sub-section, paragraph, sub-paragraph, etc. Introduce Checklists and concept of using them during normal inspection activities Lets move on to the audit itself...next slide 4

Aim To give a description of the audit process. 2
During the next few days you will be introduced to much of the knowledge and skills needed to participate in an audit To fulfil your obligations as an inspector (or inspectee for industry participants) it is necessary that you be familiar with this process. Outline slide next 2

Outline We will cover: An overview of Audits Definition of an Audit
Reasons for Conducting an Audit (Types) Classes of Audits Team Composition and Roles of Members Frequency Steps in the audit process. Refer to slide... then...Overview of the MRA ...turn to Foreword by Don Spruston 1st para...NAP developed to a) promote conformance..., and b) ensure CivAv audit policies and proc applied uniformly 2nd para...in-depth review (snap-shot in time) ...approach is one of complete openness 3rd para ...gives us some guidance in determining qualities of an auditor ...positive manner (glass is half full)...professional approach while using proven methods (follow MRA)...fairness and equity (use the checklists-operator has them) 4th para ...indicates the responsibility of the NAD Introduce MRA...state that it is still a draft...appendices Lets turn to the Table of Contents...next slide 3

What is an audit? An audit is an in-depth review of the activities of an organization to verify conformance to applicable Civil Aviation regulations and standards. Emphasize ...the “in-depth review” idea, and ...determining the degree of conformance ...the cornerstone principle of auditing ...objectivity Now think of yourself as an independent auditor...step away from the fact that you are an inspector with credentials and certain delegated powers...just consider yourself in the audit role...that’s the attitude that will serve you best ...its also why we don’t want people who have been involved with certifying or inspecting the operator involved in the audit (discuss regional politics) We’ll now break the audit into its basic components...next slide 5

Auditing The auditing process places the relationship between the regulated organisation and its regulator into the proper context. It reinforces that essential requirement that the responsibility for safety rests with the regulated organisation. If the organisation has effective systematic arrangements for managing safety, it will have little difficulty in responding immediately and thoroughly to an audit. The organisation will be more open about incidents and its failures because its safety management procedures will enforce visibility and due process. It will also want to explain what went wrong and how the matter was dealt with to reassure the regulator. Emphasize ...the “in-depth review” idea, and ...determining the degree of conformance ...the cornerstone principle of auditing ...objectivity Now think of yourself as an independent auditor...step away from the fact that you are an inspector with credentials and certain delegated powers...just consider yourself in the audit role...that’s the attitude that will serve you best ...its also why we don’t want people who have been involved with certifying or inspecting the operator involved in the audit (discuss regional politics) We’ll now break the audit into its basic components...next slide 5

The 4 basic activities during an audit:
Pre-audit Physical audit Post audit Audit follow-up Talk to slide... Question: What is the purpose of an audit? Determine an organization’s level of conformance to the regulations and standards...and to do so openly and objectively. Question: what was the purpose of the NAP?...next slide 6

Audit Program To ensure that a satisfactory level of
Purpose: To ensure that a satisfactory level of aviation safety is maintained, and that the governments Civil Aviation’s audit policies and procedures are applied nationally in a uniform manner. a) promote conformance to regulatory requirements, and b) ensure policy and procedures are uniformly applied (MRA) So where do we get the authority to audit...turn to section 2.2 on page 9 of the MRA ...also discuss paragraph 7.1(1)(b) of the Act...which requires an operator to continue to meet the requirements for which a CAD was issued DGCA is delegated the responsibilities for audit and inspections...this has been further delegated...go to the top of page 10 What is a Convening Authority...turn to the definitions on page 2 - turn to page 11 to the matrix - before we talk about combined or specialist audits, lets consider the 4 situations where we would want to audit...next slide 7

Initial Certification Audit
Audit Types: Initial Certification Audit Approximately six months after the issuance of an Air Operating Certificate or Approved Maintenance Organization Certificate talk to slide 8

Additional Authority Audit
Audit Types: Additional Authority Audit Prior to granting additional authorities an audit may be conducted. talk to slide 9

Routine Conformance Audit
Audit Types: Routine Conformance Audit Every holder of an Air Operating Certificate, Approved Maintenance Organization Certificate, or any other type of aviation organization certificate, should be audited on a periodic cycle ranging from six to 60 months. talk to slide 10

Special Purpose Audits
Audit Types: Special Purpose Audits Called due to special circumstances, i.e.. an accident, safety concerns etc. These audits are sometimes referred to as "No notice Audits". talk to slide On the matrix we saw the terms “combined” and “specialist”, lets look at these a little closer...next slide 11

Initial Audit Procedures Course
Audit Classes Combined - Operations and Airworthiness conduct audits of their specialties simultaneously under the direction of one Audit Manager. Specialist - Airworthiness and Operations audit their specialties separately. These have been further broken down...next slide 12

Classes of Audits Large Combined Audit Small Combined Audit
Specialist Audit • Airworthiness • Operations Turn to on page 21...Large...Small...Specialist A/W and Ops We’ve looked at the 4 types of audits...initial cert...additional authority...routine conformance....special purpose and we’ve discussed the three classes of audits...large combined...small combined...specialist Lets now look at the types of documentary output from an audit...next slide 13

A quick review before we look at the audit team
Outputs of an Audit Audit Report Parallel Report We’ll go into these in more detail during the course...suffice it to say that - an Audit is a series of factual statements outlining the overall level of conformance of the auditee - the AIRs supports the Audit Report from the airworthiness perspective - the Parallel Report consists of audit findings against ourselves...TC Civil Av. ...once again, we approach this with a positive attitude and objective viewpoint A quick review before we look at the audit team Question: What is the purpose of an audit? Ans. Determine an organization’s level of conformance to the regulations and standards...and to do so openly and objectively. Q: Purpose of audit program? a) promote conformance to regulatory requirements, and b) ensure audit policy and procedures are uniformly applied (MRA) Q:We’ve looked at the 4 types of audits...initial cert...additional authority...routine conformance....special purpose Q: the three classes of audits...large combined...small combined...specialist ....as I go to next slide, you can go to page 23 in the MRA...Audit Team Look at time...if 50 mins or so-take a break! 14

The Audit Team Convening Authority Audit Manager Team Leader Ops
Others* Team Leader A/W There are no hard and fast rules...this is what a typical audit team looks like. next we’ll look a little closer into the terms of reference and the responsibilities of the convening authority...for this, turn to page 38 and section note that Chap 5 (Small and specialist has similar sections) Team Member Ops Team Member A/W 15

Convening Authority The person responsible for authorizing and
refer to the MRA for detail... next we have the audit manager... The person responsible for authorizing and overseeing a regulatory audit 16

Audit Manager Plans, organizes, directs, and controls the audit process. Required on every audit. refer to MRA 4.1.3 Team Leader next... 17

Team Leaders Support and assist the Audit Manager.
Not necessarily required on every audit. refer to of MRA Tem Member next... 18

Team Members Conduct the audit field work Document findings
Generally on every audit refer to of MRA Observers next... 19

Observers Accompany the audit team during the audit.
Do not participate in the physical inspection unless specifically directed to do so. Not necessarily on every audit. refer to 4.1.6 note that the MRA now allows for industry observers next...steps in the audit process 20

STEPS IN THE AUDIT PROCESS
CONVENING AUTHORITY Sets the Audit Schedule Appoints the Audit Manager relate steps to major activities of pre-audit, physical audit, post-audit and audit follow-up Audit Manager next... 21

AUDIT MANAGER Selects the team Communicates internally and externally Prepares the audit plan Establishes contact with the Auditee Sets the audit date(s) relate steps to major activities of pre-audit, physical audit, post-audit and audit follow-up go to next 22

AUDIT MANAGER (con't) Initiates the Audit Plan Reviews outputs from the audit Formulates the Audit Report and Parallel Findings Presents report(s) to the Convening Authority Ensures that the Audit Report is forwarded to the Auditee. Coffee time?!? 23

PLANNING Objective: With references, the participant will describe the elements to be considered in planning an audit IAW the MRA The operative word here is “references”, your wisdom will be your knowledge of where to find the information you need. Aim of this presentation....next

AIM To describe the various parts involved in the planning of an audit in accordance with the applicable Civil Aviation standards You’ve all heard the phrase: “If you fail to plan you’re planning to fail”. The quality of an audit is directly proportional to the quality of planning...so plan the work...and work the plan. It is absolutely imperative that you have sufficient time to plan an audit. With budget restraints, high personnel turn-over, limited resources, etc, etc, we are often put in a position where limited time is available for planning. You must have time to plan. Outline next... 2

OUTLINE 1. AN OVERVIEW OF PLANNING 2. SCOPE AND DEPTH OF AN AUDIT
Initial Audit Procedures Course OUTLINE 1. AN OVERVIEW OF PLANNING 2. SCOPE AND DEPTH OF AN AUDIT 3. AUDIT PLAN Refer to slide Tell how the National Audit schedule is determined Regions will have a similar process Why do we want a plan?...next slide 3

AUDIT PLAN To ensure that the objectives of the audit are met. Purpose
Initial Audit Procedures Course AUDIT PLAN Purpose To ensure that the objectives of the audit are met. For small audits...the plan is often minimal. For large audits, it can get very complex. Consider who will be using the plan and for what purpose...next slide 4

AUDIT PLAN MAIN USERS Plan Audit Manager and Team will work from
Initial Audit Procedures Course AUDIT PLAN MAIN USERS Plan Audit Manager and Team will work from Logistical details SECONDARY USERS To Convening Authority for Approval Who, When, How Long and Costs To Auditee When, Areas to be audited and Special Requests Develop the main plan first...then strip down for secondary uses. For main plan, consider what you need from the perspective of the AM, TLs and TMs. mind map next... 5

The Mind Map Audit of Acme Aero Initial Audit Procedures Course
Schedule Team Selection Scope & Depth Audit of Acme Aero Objective Preps Budget Company File Review Previous Audit Report Company Manuals Principal Insp Briefing Link now to the audit of Acme Aero (plan at end of section in student handout) Don’t go into detail... Travel Accommodation Per Diems Land transport Budget Contingencies

PLANNING WHY Ensures efficiency and economics
Initial Audit Procedures Course PLANNING WHY Ensures efficiency and economics move on 8

PLANNING Purpose/Function Identifies functions
Initial Audit Procedures Course PLANNING Purpose/Function Identifies functions Shows areas where flexibility is possible Shows areas where there is no margin for error read and move on 9

Critical Path Planning
Initial Audit Procedures Course Critical Path Planning Scope & Depth Team Selection Budget Documents Preps Team Meeting Entry Meeting Physical Insp. Functional Areas Findings Daily Meetings Company De-brief Audit Report Wrap-up Activities Pre-Audit Audit Post-Audit Follow-Up This is useful as a big picture...move on to scope Start Finish

SCOPE What is it? ‘SCOPE’ is defined as the number of functional
Initial Audit Procedures Course SCOPE What is it? ‘SCOPE’ is defined as the number of functional areas within a company's operation that will be audited. Use Acme Aero as an example: dangerous goods, 748 (pax) therefore cabin safety, large and small aeroplanes, etc go to next 11

Determined by the class or type of audit to be conducted
Initial Audit Procedures Course SCOPE Determined by the class or type of audit to be conducted Combined Specialist Special Purpose discuss briefly and move on 12

SCOPE Functional Areas
Initial Audit Procedures Course SCOPE Functional Areas Defined as 28 discrete areas or departments within an organization e.g.: Code Topic A-1 Maintenance Control Manual A-2 Technical Publications A-3 Company Quality Audits A-4 Engineering A-5 Support/Overhaul Shops A-6 Aircraft Maintenance Records, etc refer to slide ARASS also can assist you in determining the size of the team you may need...go to next 13

SCOPE Functional Areas Determined by
Initial Audit Procedures Course SCOPE Functional Areas Determined by Review OC & OPS Specs to determine size of auditee Review AMO’s, Distributors and Manufacturers Review Certificates of Approval, A/C limitations, Maintenance and/or Quality Control Manuals for Airworthiness refer to slide ARASS also can assist you in determining the size of the team you may need...go to next 13

DEPTH The period of time over which a company’s operations will be audited, normally from the last audit until present day. It could also be thought of as the extent or the size of the audit. CARs! Oct 10, 1996 Move on to additional planning factors 16

Planning Factors Company
Initial Audit Procedures Course Planning Factors Company Discuss company history with appropriate CAA Inspectors Obtain and review previous audit report and follow-up action. Review company files (Looking for exemptions and special authorities) Obtain and review certificates of approval and limitations (AOC’s etc.) Review Manuals (MCM, Ops, Training, Cabin Attendant as applicable) refer to slide...go to next 17

Planning Factors Company Review accident reports
Initial Audit Procedures Course Planning Factors Company Review accident reports Review company changes (personnel, aircraft, facilities, equipment, management, etc.) Bases Size of company for sampling rationale refer to slide...go to next...sampling 18

MRA set out a table for sampling to 95% confidence level
Initial Audit Procedures Course SAMPLING RATIONALE MRA set out a table for sampling to 95% confidence level S C I E N Confidence level of 95% is identified in the MRA. In practical terms it may not be realistic to review all aircraft in the fleet. Significant findings against one type of aircraft may require additional review against other types. You must be realistic when conducting the review and look at each audit situation independently. go to Sampling on page 29 of the MRA read and emphasize (b) next slide for planning factors-Bases 19

Sampling Rates for 95% Confidence

Planning Factors Bases When was the last audit?
Initial Audit Procedures Course Planning Factors Bases When was the last audit? Review the company and compliance history. What was found at the bases during the last audit? Was there a follow-up? How did it go? talk from slide and go to next 20

Planning Factors Bases
Initial Audit Procedures Course Planning Factors Bases How accessible are the bases and is it worthwhile to visit? Can we find the information elsewhere? What manpower is required? Determine risk management. talk from slide planning factors-manpower next 21

Planning Factors Manpower
Initial Audit Procedures Course Planning Factors Manpower Team Members. Are the right people available? Will Subject Matter Experts be required? Will all Specialties be covered? Do I need Support Staff? How can I get the best utilization of team members? talk from slide planning factors duration next 22

Planning Factors Duration Size of Company Record of Company
Initial Audit Procedures Course Planning Factors Duration Size of Company Record of Company Capabilities/diversification of A/C, etc. Scope and function of work carried out Distance, location and company scope of work Unforeseen circumstances (weather, travel etc.) talk from slide and go to next 23

Planning Factors Duration
Initial Audit Procedures Course Planning Factors Duration Significant areas of concern will increase sampling & duration. Availability of team members Loss of a team member (illness, accident etc) Experience level of auditors talk from slide then next for rule of thumb 24

Audit Planning Rule of Thumb Small 1 - 5 days Medium 5 - 15 days
Initial Audit Procedures Course Audit Planning Rule of Thumb Small days Medium days Large days next for funding 25

Funding Consider: Class of Audit The number of people on the team
Initial Audit Procedures Course Funding Consider: Class of Audit The number of people on the team The scope of the audit Accommodation, meals, etc. Foreign travel, Air and ground transportation, Equipment/conference room, rentals. talk from slide...go to next 26

Staffing Considerations Make an Organization Chart Select Team Leaders
Initial Audit Procedures Course Staffing Considerations Make an Organization Chart Select Team Leaders Select Subject Matter Experts Select Advisors (if required) Determine support personnel requirements refer to slide go to next 28

Lucky Airlines AMO 58/0100, AOC/40-001

AIRWORTHINESS Showing Functional areas to be audited

Audit Plan Purpose To ensure audit goals and objectives are effectively and efficiently achieved. review sample audit plan 29

Terminal Objective: With references, the candidate will identify the necessary pre-audit communications IAW the MRA. Link: We’ve discussed the importance of planning, now lets look at communications... Communication

Aim To describe the lines of communication which must be established in order to conduct an effective audit. Refer to slide… Motivation: An essential part of being a member on an audit team is your ability to communicate…to both other members of the team, as well as the operator. During this module we will cover…(next) 2

Outline We will cover: Lines of communication 3
During an audit it is imperative that formal lines of communication be established and followed. Nothing will bring an audit “down” faster than poor communications…whereas the opposite is also true, Good communications result in effective, successful audits. So what’s the purpose of establishing formal lines of communication?…(next) 3

Lines of Communication
Purpose To ensure the audit plan is followed; To ensure all team members understand with whom they will communicate; To ensure unforeseen problems are dealt with in a timely manner. Refer to slide… It is also important to advise the operator of applicable lines of communication…Audit Managers should insist that company personnel respect and use the established communications channels. To get a feeling for what we are referring to here, let’s look at a typical org chart of the audit team, and of the operator…(next) 4

Audit Team Company 5 Convening Authority Audit Manager Team Leader A/W
Team Leader Ops *Others Team Members Audit Team President DFO CASO Director of Maint. Quality Assurance Manager C/P Dispatch Main Base AME Sub-Base AME Store Keeper Technical Records Clerk CCP Pilots Apprentice Company Chief Cabin Attendant Note that the two organizations do not mirror each other. What do we mean by internal and external ? Internal - communications that occur within the audit team and within TC External - operator, RCMP, Airport Authority, External Affairs, Subject Matter Experts (Tech Reps), etc. Let’s first do an overview of Internal Communications…(next) 5

Internal Communications
Overview We mentioned a moment ago that Internal Communications were those taking place within the team, and between the team and other elements of Civil Aviation. The next slide will illustrate this…(next) 6

Internal Communications Overview
Convening Authority Audit Manager Team Leader(A) Team Leader(O) Team Member(s) Note change to this slide vs the one in the candidates manual. - team leaders and members only communicate with operations inspectors at their level (on technical issues such as interpretation, etc.) unless otherwise authorized to do so by the AM. AM communications (next) Observer(s) 7

Internal Communication
Audit Manager with: The Convening Authority Team Leaders Team Members Observers AM - CA: (review who CA is) - some CAs want constant updates…others hands-off - can be influenced by the profile of the operator, previous audit history, media attention, reputation of AM, etc. - suffice it to say, the CAs the boss, the AM follows his/her guidance - CAs must be aware of problems, they don’t want to kept in the dark AM - RDG: discuss with CA and follow - acceptance of audit plan, solicit resources, assist in initial contact with the operator - discuss soliciting resources (contact individual to verify avail., then Mgr.) AM - TL:one supports the other, teamwork paramount (communicate) - give TL autonomy with team…support their needs - will discuss in greater detail when we discuss meetings Remainder…refer to slide and discuss points. TL - TM and Observers - as required, follow plan, keep abreast TM - TM as required, comm. freely with those at or below level POI/PAI - as required AM - AE - as required for problems or advice (AM only unless directed otherwise….next….questions 8

External Communications
CAA Members: Observers Team Members Team Leaders Audit Manager Observers - silent TMs - with operators staff as agreed during pre-audit briefing - functional couterparts - informal - interview (we’ll talk about later) - dealing with questions from the operator ex. How’s the audit going? - if in doubt, discuss with TL TL - with operators staff as required - same caution as TMs…if in doubt, ask AM AM - anyone as required to complete the task - examples on next slide…. 11

Audit Manager with: Auditee Airport Manager Foreign Affairs Media Refer to slide AM to company is most important - discuss from next slide... 12

Contact with Company Typically by phone, then in writing; Establish a good relationship; Use a non threatening manner; Gain acceptance of your audit plan; Ask for a contact/liaison person; Set meeting dates and times; Request facilities for the audit team. Contact with Company - refer to slide… Next slide…questions 13

Communications The Process AM should begin planning
Initial Audit Procedures Course Communications The Process AM should begin planning AM should establish internal contacts as applicable ie. Inspectors etc. AM should establish external contacts if necessary AM should establish the audit team (team leader. assist.) AM should contact auditee by phone and in writing Refer to slide 15

Communications The Process cont'd
Audit Manager should complete planning Audit Manager should meet with the team Refer to slide Wrap up 16

Pre-Audit Terminal Objective:
Using references, the candidate will describe the activities involved in the pre-audit as set out in the MRA. Link: We’ve discussed audit planning and communications that take place during an audit, let’s now start to bring this all together with a look at the Pre-Audit phase. Remember that we earlier spoke of the 4 phase of an audit…what were they? Pre-audit...Physical Audit…Post Audit…Audit Follow-up Well lets look at the first of these…the Pre-Audit Aim next...

To describe the activities that take place during the pre-audit.
Initial Audit Procedures Course Aim To describe the activities that take place during the pre-audit. Pre-Audit activities set the tone for the entire audit. It is during this phase that credibility and respect for the audit management team can be established (or if not handled properly…lost, or at best, delayed). So what are we going to cover…(outline next)... 2

Outline Review of Pre-Audit activities
Initial Audit Procedures Course Outline Review of Pre-Audit activities Topics to be covered during the Pre-audit meeting Material to be reviewed during the pre-audit activities Refer to slide 3

Pre-Audit Activities Audit planning Team assembly
Initial Audit Procedures Course Pre-Audit Activities Audit planning Team assembly Pre-audit team meeting Final preparations including document review 4

Pre-Audit Team Meeting
Initial Audit Procedures Course Pre-Audit Team Meeting Topics to be covered Materials presented to members Duties and Responsibilities Specific audit area Checklists Observer position Team plan 5

Pre-Audit Team Meeting
Initial Audit Procedures Course Pre-Audit Team Meeting Other considerations Conflict of Interest Confidentiality Access to Information Schedules and Arrangements Forms Administration Parallel Report Budget 6

Files held by the Authority
Initial Audit Procedures Course Pre-Audit Review Files held by the Authority Company Files Aircraft Files by Registration number Concession File Aircraft Type File Company Approvals File etc etc. 7

Pre-Audit Review Inspection Reports In-flight inspection reports
Initial Audit Procedures Course Pre-Audit Review Inspection Reports In-flight inspection reports Ramp checks 8

Previous Audit Reports
Initial Audit Procedures Course Pre-Audit Review Previous Audit Reports Previous history Review findings 9

Pre-Audit Review All Company manuals Maintenance/Operations manuals
Initial Audit Procedures Course Pre-Audit Review All Company manuals Maintenance/Operations manuals Aircraft flight manual Procedures/Training manuals Dispatch manual MELs 10

Pre-Audit Review Review Documents Flight Permit ETOPS Fuel policy
Initial Audit Procedures Course Pre-Audit Review Review Documents Flight Permit ETOPS Fuel policy Authorities held (CAT II, RVR600, etc.) Exemptions/Concessions Approvals/Modifications Aircraft Type Approvals Manufacturing Limitations, etc. 11

Entry Meeting

Aim To describe the activities involved in the entry meeting with the company and to better appreciate the climate it may be given in. 2

Outline We will cover: Communication Rules
Topics covered at Entry Meeting 3

Factors that shape outlook
ENTRY MEETING Factors that shape outlook YOU Your task is to provide a service Your Authority is often not well understood by industry THE OPERATOR Often very clever at conducting commercial ventures Some view regulations and standards as barriers to expansion and have little time for those tasked with monitoring and enforcing them 4

ENTRY MEETING Factors (Con't) OPERATOR'S PERSONNEL
View themselves as very good in their job They do not want to look bad OWNERS Have a lot invested in terms of time and money Audit may make findings that will be costly to fix Many do not like being under government observation 5

ENTRY MEETING Factors (Con't) GOVERNMENT
Has a lot of say in the company's affairs Operator may view your presence as interference Time spent during an audit is non-profitable CREDIBILITY Your reputation may have preceded you Don't play games 6

ENTRY MEETING Strategy Imagine yourself in Operator's shoes
Plan and prepare for the audit as much as possible Identify issues that could prove difficult and develop a plan to deal with them should they arise 7

ENTRY MEETING Setting the stage Held on company’s premises
Dress neatly Be on time Be open and friendly prior to and during the meeting Ensure your team is properly briefed Ensure operator is properly represented 8

Setting the stage cont'd
Initial Audit Procedures Course ENTRY MEETING Setting the stage cont'd Ask Operator to hold questions till the end of your address One person speaks at a time Speak clearly and be brief Try to convey your message in a non-adversarial way Do not compare one operator to another Maintain control of the meeting 9

ENTRY MEETING Topics to be covered Thank You's
Explain the purpose of the meeting Introduction of Audit Team and Company Representatives Discuss audit objective Discuss scope and depth 10

Topics to be covered cont'd
ENTRY MEETING Topics to be covered cont'd Discuss communications between the Audit Team and the company, including Daily Meetings Discuss way audit is conducted Discuss the means of handling non-conformances including immediate threat to safety. Introduce forms that the operator may see over the course of the audit 11

Topics to be covered cont'd
ENTRY MEETING Topics to be covered cont'd Arrange tour of facilities Discuss Exit Meeting date and time Discuss efforts that will be made to make sure disruption to the operator is very small 12

Topics to be covered (Con't)
ENTRY MEETING Topics to be covered (Con't) Confirm Working Space Photocopier, telephones, facsimile machine, etc. Measuring or test equipment Admission to facilities and files ask questions Conclude the meeting in a friendly way 13

Physical Inspections Objective:
Using references, the candidate will describe the activities and procedures that are carried out during the physical audit IAW the MRA. In the previous lesson we talked about the entry meeting....now we’ll get on with the physical audit itself... Physical Inspections

Aim To describe the activities and procedures that are carried out during physical inspections. Auditing is a skill...it takes practice and requires time and experience to develop. During this session we will...next slide 2

Outline We will cover: Overview checklists Interviewing
Documenting evidence Audit forms Corrective action refer to slide once again, the process of auditing may appear complex...an understanding of the steps to take will dissolve any apprehension and show you that it is really quite simple next...lets look at the big picture 3

What is Auditing? Examining the operator's system, in your assigned area, to determine if it meets the applicable Civil Aviation regulations and company procedures as published in the CAA approved Maintenance Procedures Manual. refer to slide now I know what the standard is...what do I do...next 5

Steps in Conducting a Physical Inspection
Review CAA standards Obtain checklists Review and “test” Does it meet the standards Does not OK Write Notes Proceed with next inspection Write down audit finding(s) refer to slide...checklist...next 6

Checklists Use as directed Ensure that no area is overlooked
Initial Audit Procedures Course Checklists Use as directed Ensure that no area is overlooked Write down information Check company against applicable Civil Aviation regulation requirements discuss intent...mandatory use...operators have checklists too...internal audits professionalism we spoke a few moments ago about the standard to which we audit...what do we mean...next 7

Audit Airworthiness Maintenance Control/Policy Manual
Civil Aviation Regulation Aviation Act MPD/MRB Approved maintenance programs ....explain when to go for the higher standard...enforcement Let’s move on to a useful tool for obtaining information...interviewing 9

Interviewing People Why?
To determine if the system documented in the approved manuals is the system in use To assess the knowledge of the operator’s personnel. To review their duties and responsibilities To determine if any other areas need be audited To tell people what is going on best keep it informal not an inquisition...the goal is to obtain information...how do we do this...next 10

Basics of Interviewing
Ensure no other Inspector has talked to the person about the same thing. Where necessary, determine which Team Member will talk to whom Be organized Be polite Do not interrupt auditee. If necessary make an appointment refer to slide...next 11

Basics of Interviewing
Continued Do not threatening Explain to Person what you are doing and why Check whether it is ok to take notes Ask questions carefully Listen carefully to the response refer to slide...next 12

Basic Do's of Interviewing
Continued Ask questions another way if necessary Ensure you understand the answers Ask extra questions as necessary Try to discuss Remain on track End the interview in a friendly manner refer to slide...following the interview we may...next 13

After Interview Make extra notes as necessary
Tell Team Leader if necessary perhaps we should also consider some “do not” aspects of interviewing...next 14

Do Not Play ‘I have you now’ Intimidate
Allow yourself to be intimidated Allow yourself to be drawn into fight if you’ve been open and informal you will usually get the information you’re after...but what if....next 15

What if? The person refuses to speak to you
The person wants to say tell you a secret The person wants to fight The person wants to make a speech refer to slide next we want to support any finding of non-conformance with some evidence what is evidence? 16

Evidence What is it? Anything which supports or shows a non-conformance. discuss...examples ( photocopies of training records, photographs,etc) introduce evidence gathering techniques....when to use it we are often asked, “what happens if the non-conformance is an immediate threat?” next... 17

Immediate Threat to Safety
Inform Team Leader what is an “immediate threat”? ask group to give examples...discuss when its not an immediate threat (99.9%) what do we do? ...next 18

Not an Immediate Threat to safety
What do you do? give it to the operator Confirmation Request Form (CRF)....verbal...they will usually take action Before finishing this segment, let’s take a few minutes to discuss the CRF and its companion the Audit Finding Form. Discuss...... 19

& Confirmation requests
Audit Findings & Confirmation requests In the last session we spoke of the CRF and the AFF... What we will now do is take a closer look at the audit finding form and discuss how this form is filled out...hence the aim of this module is....

Aim To describe how to complete the Audit Finding and Confirmation request forms. Refer to slide Why is the AFF so important? Audit only as good as the audit report and the report (executive and functional summaries) is supported by the findings. If findings are written incorrectly they can be contested...and thrown out...this could jeopardize the integrity of the entire report...we’ve seen this (example). Outline...next 2

Outline Overview Writing Audit Findings correctly Practice exercises
Test on writing an Audit Finding The Confirmation request Form Refer to slide To start off with...what is an audit finding? 3

Audit Finding Definition
Initial Audit Procedures Course Audit Finding Definition "audit finding" means the determination of non-conformance of a product, process, practice or procedure or a characteristic thereof to a specified regulation or standard. This will be documented in the Audit Finding Form. refer to slide the emphasis here is on non-conformance Remember that slide we used for conducting the physical inspection...(next) 4

Steps in Conducting a Physical Inspection
Review standards Obtain checklists Review and “test” Does it meet standard Does not Does Prepare the paper work Proceed with next task Write the audit finding(s) Walk through the process to the final step “Draw up the audit finding”. First step is to obtain an audit finding form - hard copy for handwritten findings (variations) - electronic Lets take a look at the audit finding form in the MRA (review form) Now lets look at how to fill the AFF out - consider first some of the more common errors noted in audit findings (next) 5

Writing Audit Findings
Problems The Regulatory requirement has been written incorrectly The standard and the example(s) do not match The example(s) would support more than one Audit Finding Refer to slide... Let’s discuss the first point for a few minutes... There are two methods used for quoting the regulatory requirement Verbatim or segmenting (next) 6

Quoting the CASR Standard Exactly
Write the regulatory requirement in terms of chapter, section, paragraph etc. Then incorporate the phrase "Which states" Then write enough of the regulation to clearly illustrate the meaning of it. Tie one part to another by using …..… (dots) refer to slide... Quoting the requirement...refer to hand-out In situations where the requirement is too long, especially where you have a list of requirements, segmenting is the preferred method (next)... 7

Writing Examples Ensure that the example matches the Regulatory
requirement Include a lead-in statement such as "The following are examples of..." where possible Write a statement of how the situation was (past tense) Make reference to supporting evidence When we talk of matching the finding examples to the standard, I’m reminded of the “wet carpet syndrome” (discuss) Refer to slide... reference supporting evidence - “as indicated by the attached journey log pages” - “as stated on the attached Confirmation Request Form”, etc. Now let’s put all this knowledge to use with some sample cases… 9

AUDIT FINDING FORM Area of Audit: Finding No. Non-Conformance With:
EXAMPLES Company Corrective Action Immediate, Short and/or Long Term Civil Aviation Response Audit Follow up

AUDIT FINDING FORM Area of Audit: A1 Maintenance Control Manual Finding No:A1-1 Non Conformance with: SAR (a) (1) which states in part - Each certificate holder shall furnish copies of the manual ………..to - its appropriate…...maintenance personnel. Area of Audit: A14 Certification of Components Finding No:A14-2 Non Conformance with: SAR (d) which states in part - Each person who is directly in charge of the maintenance functions……... must ……….have had at least 18 months of practical experience………. in the work for which the certificate holder is authorised.

AUDIT FINDING FORM Area of Audit: A21 Test & Measuring Equipment Finding No:A21-1 Non Conformance with: SAR (a) which states - A certificate holder must have equipment and materials necessary to efficiently perform the functions listed on their certificate Area of Audit: A21 Test & Measuring Equipment Finding No:A21-2 Non Conformance with: SAR (b) which states in part - The organization shall ensure that all inspection tools and test equipment are tested at regular intervals to ensure correct calibration …………...

AUDIT FINDING FORM Area of Audit: A21 Test & Measuring Equipment Finding No:A21-3 Non Conformance with: SAR (b) which states in part - The organization shall ensure that all test equipment are tested ………. to ensure correct calibration to a standard derived from the National Standards or to a standard provided by the equipment manufacturer.

AUDIT FINDING FORM Area of Audit: O15 Flt & Duty Time Records Finding No:O15-1 Non Conformance with: SAR (1) which states in part - ‘Every air operator shall establish a system that monitors the flight time, flight duty time and rest periods of each of its flight crew members…... Area of Audit: O2 OPS SPECIFICATIONS Finding No:O2-1 Non Conformance with: SAR (1) Which states in part - Subject to subsection (2), no air operator shall operate a twin‑ engined aeroplane on a route containing a point that is farther from an adequate aerodrome than the distance that can be flown in 60 minutes at the one‑engine‑inoperative cruise speed.

AUDIT FINDING FORM Area of Audit: O16 Flight Inspections Finding No:O16-1 Non Conformance with: SAR (1) which states in part …….flight crew members who are on flight deck duty shall remain at their duty stations with their safety belts fastened.. .

Confirmation Request Form
Purpose To Reduce Inspector workload during the Initiation and audit phases by requiring the Auditee to prove compliance when non conformance is indicated. The CRF reduces time consuming document searching, and places the onus on the company to prove conformance. Refer to slide... Let’s discuss the first point for a few minutes... There are two methods used for quoting the regulatory requirement Verbatim or segmenting (next) 6

Advantages The auditee is afforded the opportunity to prevent aircraft ‘grounding’, and it also ensures that the auditor is possession of all the facts before proceeding with further action. In addition the auditor receives a signed document from the auditee to use as part of the supportive evidence package. Refer to slide... Let’s discuss the first point for a few minutes... There are two methods used for quoting the regulatory requirement Verbatim or segmenting (next) 6

Advantages (cont.) where initial evidence indicates a non conformance, the burden is on the company to show otherwise; the auditor makes the final determination based on auditee produced facts as to which direction to proceed; Refer to slide... Let’s discuss the first point for a few minutes... There are two methods used for quoting the regulatory requirement Verbatim or segmenting (next) 6

Advantages (Cont.) elimination of arbitrary findings based on subjective examples; the auditee is not faced with major surprises at the end of the audit because all contentious issues have been dealt with in an open manner; and the auditor has more time to devote to the business of auditing rather than chasing a paper trail. Refer to slide... Let’s discuss the first point for a few minutes... There are two methods used for quoting the regulatory requirement Verbatim or segmenting (next) 6

CRF Number Company name Auditors name Company rep. Area of audit Subject matter Company response required by: Company response

Daily Meetings

Aim To be able to conduct daily meetings with the team and the company. 2

Outline We will cover: 1. Daily Team Meetings
Initial Audit Procedures Course Outline We will cover: 1. Daily Team Meetings 2. Daily Company Meetings 3

Daily Team Meeting So Team Leader can:
Initial Audit Procedures Course Daily Team Meeting So Team Leader can: Exchange, discuss and validate the day's findings and Confirmation Requests Reach agreement on certain items Be informed and measure the progress of the audit Plan the strategies and take decisions necessary in terms of directing and re-directing personnel 4

Daily Team Meeting So Team Leader can:
Initial Audit Procedures Course Daily Team Meeting So Team Leader can: Be provided the information that will form the content of the comments he will make during the daily meeting with the operator Be provided the information to report the progress of the audit to the AM as necessary 5

Team Members should brief TL on
Initial Audit Procedures Course Daily Team Meetings Team Members should brief TL on The area(s) they are examining A brief summary of what they are finding Identify any difficulties they are having Offer possible solutions 6

TMs should brief TL on cont'd
Initial Audit Procedures Course Daily Team Meetings TMs should brief TL on cont'd A date/time for completion of any phase of their assignments, (e.g. The technical library review will be completed by this afternoon) 7

Post Audit (Exit) Meeting

Aim To describe the activities involved in the exit meeting with the company and to better appreciate the climate it may be given in. 2

Outline We will cover: Communication Rules
Topics covered at an Exit Meeting 3

Exit Meeting General This meeting must not come up with any surprises to the auditee, it will be a summary of the briefing sessions held throughout the course of the audit. If this meeting is a shock to the management it is evidence of procedures not being followed during the course of the audit. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Exit Meeting Content The speakers must present their findings in a clear and concise manner. The meeting should: be chaired by the audit Manager; be cordial, diplomatic, clear, and polite; take into account the personalities and background of the company representatives; thank the auditee for their co-operation; summarise audit findings; refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Exit Meeting Contents (Cont.)
Initial Audit Procedures Course Exit Meeting Contents (Cont.) state the areas of strength as well as the areas that are deficient; outline the progression of the report following the meeting; explain the company’s obligations regarding the corrective action plan; state how the response system works; and discuss follow-up action. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Audit Report

Audit Report Format Part I Overview of the Auditee
Initial Audit Procedures Course Audit Report Format Part I Overview of the Auditee Names and Positions of Management Date Audit Completed and Auditee's Name and Address Purpose and Scope of the Audit Criteria Used Audit Team Composition In discussing the preparation of the audit report, please open your MRA to Part 1, Section This gives you the basics for preparing the report...sample audit reports can be found in the appendices...28 for a largeaudit...29 for a small. For more detail... refer to slide... Note that all this information can be found at the front of the Audit Plan...adjust for accuracy and boiler-plate ! (next slide) 5

Audit Report (Con't) Part II
Initial Audit Procedures Course Audit Report (Con't) Part II Executive Summary (which includes a statement of Overall Conformance) Parts III and IV Functional Summaries (A/W and OPs) Appendices OPs and A/W Audit Findings Refer to slide... Work up through this in reverse - audit findings...used to create the functional summaries - functional summaries...used to create the executive summary Executive summary follows: - general (AM) - airworthiness (TL) - operations (TL) (as you’ll find when we get there, these are the speaking notes for the exit meeting) We talked earlier about the importance of accurate and well written audit findings...these are the foundation for the functional summaries, which in turn is the foundation for the executive summary Let’s look at the functional summaries in more detail...(next) 6

FLYRIGHT AUDIT EXECUTIVE SUMMARY (EXAMPLE) Airworthiness The Airworthiness section of this report indicates that, with the exception of ‘Test & Measuring Equipment’, all audited areas revealed non conformance findings demonstrating: Failure to fully comply with all applicable regulatory requirements. Ineffective management control of the ‘Maintenance Organisation’. Ineffective system control through the company maintenance control manuals. A lack of effective quality control to ensure satisfactory standards.

As a result, aircraft were operated with:
a) inspections and components that had overrun maintenance specification requirements, b) non-approved parts installed, c) defect control and release certifications that did not meet regulatory requirements. Flyright has therefore operated aircraft in commercial service with Certificates of Airworthiness not in force.

(EXAMPLE) Operations The Operations section of this report indicates that audited areas revealed non-conformance findings demonstrating: Failure to fully comply with all applicable regulatory requirements. Ineffective management control of ‘Training/Check Programs’ to ensure satisfactory safety and regulatory standards. Failure to ensure that the company operations manuals provided effective system control. Failure to maintain adequate control of records.

(EXAMPLE) AIRWORTHINESS Summaries A1 Maintenance Control Manuals The hierarchy of the maintenance control manuals approved under the Air Carrier Operating Certificate (AOC) and Approved Maintenance Organization (AMO), requires restructuring. The Certificate Holder utilizes the Aircraft Maintenance Specifications document as the CAA approved, controlling manual. Sub tier manuals include the Technical Procedures Manual, Technical Quality Manual, Quality Assurance Regulations, Reliability Control Program Manual and the Weight and Balance Manual. In practical application the Technical Procedures Manual is the controlling manual, however, this manual has not been approved by CAA.

The Inspection Procedures Manual, utilized by the Approved Maintenance Organization, as with the AOC Technical Procedures Manual, Reliability Control Program Manual, Technical Quality Manual, Quality Assurance Regulations and Weight and Balance Manual, do not meet regulatory requirements. Numerous ‘controlling’ manuals were found in the system that were not reflected in the IPM or TPM, e.g. Maintenance and Engineering Technical Form Manual, Quality Assurance Regulations, and the Technical Quality Manual.

A2 Technical Publications
Numerous Manuals in the Main Technical Library are not being maintained to a current status. A review of the document control, for the user departments revealed a serious lack of control. Numerous technical forms were found to be uncontrolled and in one case three different forms had been assigned the same control number. A3 Company Quality Audits Quality audits were not being consistently carried out of a number of areas, e.g. sub-contractors, out stations, and Engineering Quality Assurance. Staff were unable to provide details of the procedural control of the audit process. A review of the yearly audit plan for 1997/98 indicated that the schedule was not being met. It was noted that the Quality Audit department, encountered difficulty in getting responses to their audit findings.

(EXAMPLE) A4 Engineering Numerous examples of components manufactured by outside agencies to non-approved data were found. Some of these parts may have been installed on Flyright, and other operator’s aircraft. Examples of non-approved engineering modification drawings and non-approved aircraft modification approvals were found. The Technical Procedures Manual lacked procedures for the approval process of repair data by CAA. Numerous forms were being used in the field; however, these forms were not referenced in the Technical Forms Manual.

A6 Aircraft Maintenance Records
Numerous examples of inadequate defect rectification data have been documented. Release certifications by unqualified persons, missing certifications, missing required inspection items (RII, s), lack of reference to standards, missing component information, missing ATA references and missing employee information was evident.

OPERATIONS (EXAMPLES) O-13 Minimum Equipment List (MEL) All of the MELs have been approved by CAA. Not all MELs reflect the latest revision of the manufacturing authority’s approved MMEL. Evidence was seen of an item exceeding the MEL time category. Evidence was seen of an aircraft operating outside of the MEL performance limitations. One aircraft did not have an approved MEL on board.

O-14 Dangerous Goods Operations did not have a copy of the IATA Dangerous Goods Manual and one could not be produced when requested . Notices to travellers, required by carry-on baggage dangerous goods regulations, were not in evidence at ticket counters, security clearance areas or holding rooms. O-15 Flight and Duty Time Limitations Flight Crew flight and duty time limitations and rest requirements were not in accordance with regulation 121. Flight Attendant duty period limitations and rest requirements were not in accordance with regulation 121 requirements. Flight Operations Officers duty time limitations were found not to exist. Evidence existed of pilots exceeding regulatory flight time limitations.

O-16 Flight and Ground Inspection
Numerous cases were found of AFMs on board aircraft not reflecting CAA approval. Numerous cases were found of AOMs on board aircraft not reflecting CAA approval. Several instances were noted of aircraft not having the current approach plate. Several instances were noted of Flight Attendants not having the appropriate manuals in their possession.

Summaries Be Professional
Initial Audit Procedures Course Summaries Be Professional Ensure the Functional Summaries are supported with Audit Findings Use the same format throughout Write the Summaries in the third person Follow the same order as the Audit Findings You may consider identifying any repeat non-conformances refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Auditee Corrective Action

Corrective Action Auditee Corrective Action Proposals. TYPES
Initial Audit Procedures Course Corrective Action TYPES Auditee Corrective Action Proposals. Before the Team can make a final recommendation as a conclusion of the audit the auditee’s proposals for corrective actions must be received, reviewed and accepted. Depending on the nature of the audit findings, the company’s corrective action should involve: refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Immediate Corrective Action
Initial Audit Procedures Course Corrective Action Immediate Corrective Action This is action taken immediately upon identification of the audit finding to remove the immediate threat to aviation safety; refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Short-term Corrective Action
Initial Audit Procedures Course Corrective Action Short-term Corrective Action This action should correct a non‑conformance that does not pose an immediate threat to aviation safety, which ensures that conformance is established quickly until long‑term action is completed to prevent recurrence of the problem. Short‑term corrective action will normally take place within 30 days; and refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Long term Corrective Action
Initial Audit Procedures Course Corrective Action Long term Corrective Action This longer‑term action has two components: 1. Identifying the cause of the problem and indicating the measures the company will take to prevent a recurrence. These measures should focus on a system change. 2. A timetable for company implementation of the long‑term corrective action. Long‑term corrective action will normally take place within twelve months. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Corrective Action Supporting Documents
Initial Audit Procedures Course Corrective Action Supporting Documents Long and short term corrective action should be accompanied by supporting documents for review eg: logbook entries, purchase orders, memoranda or revised inspection procedure cards. Note;It is important to verify as much supporting documentation as possible during subsequent surveillance. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Audit Follow-up Purpose
Initial Audit Procedures Course Audit Follow-up Purpose When the Team Leaders are satisfied that all corrective action proposals have been received a full team meeting will be convened to formulate and agree the final recommendations. These recommendations will form a supplement to the Audit Report and should include: refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Audit Follow-up Recommendations
Initial Audit Procedures Course Audit Follow-up Recommendations an overall recommendation based on the particular objectives of the audit; acceptance or otherwise of the scheduled compliance time for corrective actions; frequency of follow-up to the findings; and period and extent of future surveillance. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Audit Follow-up Recommendations
Initial Audit Procedures Course Audit Follow-up Recommendations The Audit Manager will present the final recommendations to the Director (for Approval). Subject to approval by the Director the final result of the audit can then be forwarded to the company. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Audit Follow-up Follow-up
Initial Audit Procedures Course Audit Follow-up Follow-up The Team Leader(s) will control and monitor the follow-up to all corrective actions, using the applicable team member for the corrective action to the Audit Finding that he/she raised. When the necessary follow-up has been completed and is satisfactory the result will be notified to the Director. refer to slide... Projector off.....discuss Parallel Report Problem...Cause...Recommendation Similar format Supported by Parallel Findings Same timings CAP required Follow-up Lets look now at the AIRs Report....Jack 7

Completing the Audit

Administration Submit expenses as applicable,
Initial Audit Procedures Course Administration Submit expenses as applicable, Ensure follow-up inspection is scheduled Schedule next audit Place all information on the audit file Return any borrowed equipment 4

Audit Completed

Audit Procedures Airworthiness Presented by COSCAP SA

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Audit Procedures Airworthiness Presented by COSCAP SA

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